Assistant Vice President, SOX & Controls (12 month FTC) Assistant Vice President, SOX & Controls (12 month  …

in London, United Kingdom
Contract, Full time
Last application, 01 May 21
in London, United Kingdom
Contract, Full time
Last application, 01 May 21
Mitsubishi UFJ Financial Group, Inc. (MUFG) is one of the world’s leading financial groups. Headquartered in Tokyo and with over 360 years of history, MUFG has a global network with around 3,000 offices in more than 50 markets. The Group has over 180,000 employees, and offers services including commercial banking, trust banking, securities, credit cards, consumer finance, asset management, and leasing. Please visit our website for more information -



One of the MUFG entities has become a SOX unit in the current financial year. We are looking to hire an SOX & Controls AVP to assist the team in implementing the SOX Framework, perform dry run testing, perform Test of Design and Operating Effectiveness testing.



  • Implementing the SOX Framework for a new SOX entity.
  • Identify risks & key controls for the areas in SOX scope and preparing SOX documentation i.e. Risk & Control Matrix and Test sheets.
  • Preparing an end to end flowchart showing key risks and key controls.
  • Identifying Control Owners (CO) & Control Testers (CT) and obtaining sign-off on SOX documentation.
  • Working with CO & CT to perform a dry run testing.
  • Work with external auditors and internal auditors during audit phase.
  • Assisting Control Owners with remediation of controls where necessary and ensure that all deficiencies are closed on a timely basis.
  • Coordinate the status of implementation with Head Office (Tokyo)
  • Training & Mentoring Control Owners and management on SOX Framework, Risk & Controls and best practices. 

The candidate should ideally at least 5 years’ experience working in banking or Big 4 firms and conducting internal controls or SOX reviews of the banking industry. The candidate should have a strong background of risk and business controls.

Knowledge of Securities business i.e. Derivatives (repos, swaps, options) is highly preferable. Further knowledge of debt and equity securities would be an added advantage.

Functional / Technical Competencies:


  • Excellent communication skills (verbal and written) with the ability to quickly build relationships at all levels of the organisation. Attention to detail is an important pre-requisite for this role.


Education / Qualifications:



  • Professional accounting and/or auditing qualification equivalent to ACA/ACCA, CIMA etc.


Behavioural Competencies (Essential):

  • The candidate should be a self-starter, highly motivated and willing to work as a team member.



  • Excellent communication skills
  • Results driven, with a strong sense of accountability
  • A proactive, motivated approach
  • The ability to operate with urgency and prioritise work accordingly
  • Strong decision making skills, the ability to demonstrate sound judgement
  • A structured and logical approach to work
  • Strong problem solving skills
  • A creative and innovative approach to work
  • Excellent interpersonal skills
  • The ability to manage large workloads and tight deadlines
  • Excellent attention to detail and accuracy
  • A calm approach, with the ability to perform well in a pressurised environment
  • Strong numerical skills


We are open to considering flexible working requests in line with organisational requirements.


MUFG is committed to embracing diversity and building an inclusive culture where all employees are valued, respected and their opinions count. We support the principles of equality, diversity and inclusion in recruitment and employment, and oppose all forms of discrimination on the grounds of age, sex, gender, sexual orientation, disability, pregnancy and maternity, race, gender reassignment, religion or belief and marriage or civil partnership.


We make our recruitment decisions in a non-discriminatory manner in accordance with our commitment to identifying the right skills for the right role and our obligations under the law.

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